NORTHWESTERN UNIVERSITY SCIENTIFIC MISCONDUCT POLICY

University Scientific Misconduct Policy (click here for PDF version)

Scientific Misconduct Policy Overview

The University defines scientific or research misconduct as fabrication, falsification, plagiarism, or other practices that seriously deviate from those commonly accepted within the academic community for proposing, conducting and reporting on research. Research misconduct is to be distinguished from honest error and differences of interpretation. It includes, but is not limited to:

• Falsification or misrepresentation of data, including:
  1. Reporting experiments, measurements or other statistical analysis never performed;
  2. Manipulating or altering data or other manifestations of the research to achieve a desired result;
  3. Falsifying or misrepresenting background information, including biographical data, citation of publications, or status of manuscripts;
  4. Selective reporting, including deliberate suppressions of conflicting or unwanted data.
• Plagiarism, being a misrepresentation of another's work as one's own.
• Abuse of confidentiality, including use of ideas and preliminary data gained from:
  1. Access to privileged information through the opportunity for editorial review of manuscripts submitted to journals, and
  2. The opportunity for peer review of proposals being considered for funding by agency panels or by internal committees, such as the Institutional Review Board (IRB) and the Animal Care and Use Committee (ACUC).
  
  Reporting Misconduct
  
  Members of the academic community are responsible for reporting what they believe to be misconduct, as described above, on the part of research personnel. If you believe an instance of misconduct has occurred, you should contact the Dean of the appropriate school. Complaints relating to University research centers, involve more than one school, require special consideration, and/or involve federally sponsored projects can be made directly to ORI at 312.503.0054, the Office for Research at 847.491.3485, or to the appropriate Dean.

  In addition to the resources described above, Northwestern has selected EthicsPoint to provide a simple way to report activities that may involve misconduct or other violations of University policy. You may file a report here or by dialing 866.294.3545. This service is not a substitute for, nor does it supercede, any existing reporting methods or protocols already in place at Northwestern for reporting suspected problems or complaints. Instead, the EthicsPoint system provides an additional means of reporting such issues. Any suspected problems or complaints reported via EthicsPoint will be reviewed in accordance with current University procedures, including those described in the Faculty, Staff, and Student Handbooks.

  The identity of confidential sources will be protected to the extent consistent with the needs of an inquiry or investigation. Those individuals who provide information in good faith about questionable conduct will be protected against reprisals.
  
  Misconduct Procedures
  
  Once a misconduct complaint is received, a preliminary assessment will be performed to determine whether the complaint falls under the University's definition of research misconduct. If the preliminary assessment determines that the complaint warrants further review, an inquiry committee will be appointed to determine if the allegation warrants a full investigation. If an investigation is recommended by the inquiry committee, an investigation committee will be appointed to thoroughly examine the allegation and determine whether misconduct has taken place, by whom and to what extent. The investigative committee will create and submit a report to the Vice President of Research (VPR) and Provost for review and disposition.
  
  ORI provides support to the committees and communicates the actions and committee recommendations to the VPR and Provost. ORI ensures adherence to University policies and guidelines for reviewing misconduct. The University's guidelines for reviewing misconduct can be found online. ORI is in the process of updating the current policy, which will be accessible on this site.